Attachment_B_-_STB_Case_Management_Actors.pdf

Attachment B - Actor Inventory

STB Case Replacement

Org. Unit Role Case Management Responsibilities

Board

Chairman's Office

Chairman Vote, Review Decision/Notice, Prioritize Dockets, Review Docket, Edit

Decision/Notice, Edit Case Comments (does not use current Case system), also gets weekly email summarizing confidential filings and "The List" of docket status changes (new, modified and closed). Review Brief (appeals), Create/Update

Comments on Brief.

(Rate Case) Review and Approve Proceed/Do Not Proceed Recommendations from staff. Discuss Proceed/Do Not Proceed Recommendation with Board. Vote.

Monitor Case Status and Workflow.

(Merger/Service Issue) Review and Approve OE Analysis. Review and Approve OP

& GC Decision. Discuss Merger application and analysis with Board. Vote.

Monitor Case Status and Workflow.

(Reports) Request analysis. Review and Approve Draft Report. Review and

Approve Final Report.

Chief of Staff Monitor and advise Chairman of STB operations (workflow, status, priorities).

Attorney-Adviser Advise Chariman of status of Cases and Proceedings. Review status of Cases and

Proceedings. Review Cases and Proceedings. Attend weekly intake meeting.

Special Assistant Monitor votes and manage correspondence.

Rate Case Project Manager Manage Rate case workflow

Vice Chairman's Office

Vice Chairman Vote, Review Decision/Notice, Review Docket, Review Case, Edit Decision/Notice, Edit Case Comments, Review Brief (appeals), Create/Update Comments on Brief

(same responsibilities as a Commissioner -- does not use current Case system), also gets weekly email summarizing confidential filings and "The List" of docket status changes (new, modified and closed)

(Rate Case) Review and Approve Proceed/Do Not Proceed Recommendations from GC. Discuss Proceed/Do Not Proceed Recommendation with Board.

(Merger/Service Issue) Review and Approve OE Analysis. Review and Approve OP

& GC Decision. Discuss Merger application and analysis with Board. Vote.

Monitor Case Status and Workflow.

(Reports) Request analysis. Review and Approve Draft Report. Review and

Approve Final Report.

Attorney-Adviser Advise Vice-Chairman of status of Cases and Proceedings. Review status of Cases and Proceedings. Review Cases and Proceedings. Attend weekly intake meeting.

Special Assistant Monitor votes and manage correspondence.

Commissioner's Office

Commissioner Vote, Review Decision/Notice, Review Docket, Review Case, Edit Decision/Notice, Edit Case Comments, Review Brief (appeals), Create/Update Comments on Brief

(does not use current Case system), also gets weekly email summarizing confidential filings and "The List" of docket status changes (new, modified and closed)

(Rate Case) Review and Approve Proceed/Do Not Proceed Recommendations from GC. Discuss Proceed/Do Not Proceed Recommendation with Board.

(Merger/Service Issue) Review and Approve OE Analysis. Review and Approve OP

& GC Decision. Discuss Merger application and analysis with Board. Vote.

Monitor Case Status and Workflow.

(Reports) Request analysis. Review and Approve Draft Report. Review and

Approve Final Report.

Attorney-Adviser Advise Commissioner of status of Cases and Proceedings. Review status of Cases and Proceedings. Review Cases and Proceedings. Attend weekly intake meeting.

Special Assistant Monitor votes and manage correspondence.

Org. Unit Role Case Management Responsibilities

Office of Proceedings (OP)

Director Case/Docket Assignment (to Branch), Review Case, Review Filing, Review Case

Status, Monitor Staff Workload. Determines internal case-handling policies for

OP, including intermediate work-process deadlines.

Assistant to the Director Monitors status of cases, manages workflow, monitors voting, provides reports

Administration

Section Chief Case/Docket Assignment (to Branch), Review Case, Review Filing, Review Case

Status, Monitor Staff Workload, Monitors fee waiver requests, Generation of

Reports

Administrative Assistant Scheduling briefings and meetings with Board members.

Management Information & Legal Support Services (MILSS)

Supervisory Paralegal Assign Case/Docket (to MILSS paralegal staff), Review Case Status, manage recordations, assist with reporting, acts as a backup to Clearance Supervisor, processes fees

Paralegal Intake (Case data entry, including Scan of paper documents) and Recordation, Create/Update Case Note, Update Case Status, Process Fee Waiver Request, Update STB website.

Distribute new filings to Office Directors. Monitor progress of Case management process on all pending (new dockets), open (new filings, status changes, deadlines, decision-making process, vote process), and closed cases (closing process). Report progress and status of cases to Directors and Board. Report case activity metrics to Directors and Board. Receive Draft Decisions from Offices, and distribute to OP Attorney. Distribute Final Draft Decision to Office Directors and Board. Provide Vote Results, Final Comments, and Final Decision to Clearance

Unit.

Clearance

Supervisory Paralegal Assigns dockets and other related items, reviews case status and work products, processes Federal Register submissions, review billing, reviews final documents for publication on Federal Register or STB website. Oversees, compiles and analyzes votes, Reviews drafts and clearance memoranda, monitor and manages workload, assists with MILSS tasks.

Paralegal Clearance (Create/Update Clearance attachments/paperwork, Scan Clearance documents, Review Decisions, Track voting, Enter/Update, Prepare/Send Federal

Register Notice), Update Case Status, Review Case Status, Update STB website.

Create/Update Certified Index (of Proceedings). Assists with MILSS tasks. Draft decisions, process edits, track case workflow.

Legal Counsel

Deputy Director Monitor and Manage Workload. Review and Approve Final Draft Decision.

Deputy Director for Case

Management & Attorney

Development

Monitor and Manage Workload. Review and Approve Final Draft Decision. Assign dockets and assignments to staff in Legal section.

Branch (1 - 5)

Branch Chief Manage attorney assignments. Track case status and deadlines. Review and

Approve Final Draft Decision.

Attorney-Advisor Draft decisions, process edits, track case workflow.

Paralegal Draft decisions, process edits, track case workflow.

Org. Unit Role Case Management Responsibilities

Office of General Counsel (GC) Does not include Ethics activities

General Counsel (Appeals) Appeals (defends Board decision in court), Review Draft Decision, Advise

(provide legal advice to Board upon request). Receives notice of Appeal ("Petition for Review" from Clerk of Court). Notify Chairman's Chief Legal Counsel. Notify

Director OP to update STB website of Notice of Court Action. File Entry of

Appearance (with Court of Appeals). Report list of pending, interim, and final decisions to Board. Review/Approve Brief. Email Brief to DOJ. Collaborate with

DOJ on Brief. Review/Approve Oral Argument. Supervise/Hear Moot Court.

Deliver Oral Argument in Court of Appeals. Receive, Review and Distribute

Appeals Court Decision. Review and Approve Cover Memo.

(Decision Review) Hold Weekly Meeting. Assign Attorneys (and notify OP Case

Manager/Liason of assignment). Review Decision.

(Construction) Review and Approve 3rd-Party Contractor MOU.

Deputy General Counsel (Appeals) Review/Approve Brief. Review/Approve Oral Argument. Hear Moot

Court. Deliver Oral Argument in Court of Appeals. Review Appeals Court

Decision. Review and Approve Cover Memo.

(Decision Review) Attend Weekly Meeting. Collaborate on Attorney Assignment.

Review Decision.

General Counsel (Appeals) Review/Approve Brief. Review/Approve Oral Argument. Hear Moot

Court. Deliver Oral Argument in Court of Appeals. Review Appeals Court

Decision. Review and Approve Cover Memo.

(Decision Review) Attend Weekly Meeting. Collaborate on Attorney Assignment.

Review Decision.

Trial Attorney (Appeals) Review Petition (appeal). Determine whether Petition is Proper (filed on time and in proper court). Review Case (filings, proceedings, decisions, votes, notes). Prepare Motion. Review Clerk of Court Order. Create/Update Joint

Appendix (from Certified Index, from STB.gov). Create/Update Brief. Collaborate with DOJ on Brief. Submit draft final Brief to Board. Adjudicate Board Comments.

Create/Update Deferred Appendix. File Form for Oral Argument. Prepare Oral

Argument. Deliver Oral Argument in Moot Court. Deliver Oral Argument in Court of Appeals. Review Appeals Court Decision. Prepare Cover Memo. Adjudicate

Comments on Cover Memo.

(Decision Review) Review Decision. Draft Decision. Finalize Decision. Send

Decision Draft to OP Case Manager/Liason.

Attorney-Advisor (FOIA) Receive FOIA Request. Review FOIA Request (for completeness and proper submission). Process FOIA Request (enter into database, send confirmation letter, complete and distribute staff-search request form, consult with STB staff, review related records and FOIA exemptions, work with Finance Office to calculate bill, draft FOIA response and bill, close out FOIA request in database).

Also responsible for Ethics and other compliance regulations (e.g., Paperwork

Reduction Act, privacy)

Administrative Assistant Send Final Brief for distribution to Offices and Board, publish in ECF. Send Final

Cover Memo to Offices and Board, publish in ECF.

Org. Unit Role Case Management Responsibilities

Office of Economics (OE) Does not include Competitive Analyses or Request for Waybill

Director / Chief Economist (Rate Case) Receives Notice of Intent from OP. Determine which Sections to involve (coordinate with Section Chiefs). Assign Section and Team. Facilitate Kick-

Off Meeting (review team assignments, review schedule and priorities). Review and Approve List of Deficiencies. Review, Approve and Discuss Proceed/Do Not

Proceed Recommendation. Submit Proceed/Do Not Proceed Recommendation to

OP Case Manager/Liaison. Monitor Case Progress (workflow and status tracking).

Manage Staff Workload.

(Merger/Service Issue) Receives Intent to Merge from OP. Determine which

Sections to involve (coordinate with Section Chiefs). Assign Section and Team.

Review OE Analysis. Review OP & GC Decision. Discuss Analysis and Decision with

Board, OP & GC. Monitor Case Progress (workflow and status tracking). Manage

Staff Workload.

Policy & Transportation Analysis

Branch Chief (Rate Case) Receives Notice of Intent from Director. Determine which staff to involve (coordinate with Director and other Section Chiefs). Assign Team.

Monitor Case Progress (workflow and status tracking). Manage Staff Workload.

Assign Rate Case Sections to Team. Receive Progress Updates from Team by Case

Section. Review and adjudicate List of Deficiencies. Review, Approve and Discuss

Proceed/Do Not Proceed Recommendation with Director. Review and Approve

Sections. Review OP and GC Decision.

(Merger/Service Issue) Receive Intent to Merge from Director. Determine which staff to involve (coordinate with Director and other Section Chiefs). Assign Team.

Monitor Case Progress (workflow and status tracking). Manage Staff Workload.

Assign Team. Receive Progress Updates from Team.

(Reporting) Review and Provide Comments on Report. Review, Approve and

Distribute Final Report.

Policy Analyst (Rate Case) Receive Assignment. Attend Kick-Off Meeting. Reading and Research.

Create List of Deficiencies (and submit to Team Lead). Make Proceed/Do Not

Proceed Recommendation to Team Lead. Review Defendant Reply. Create List of

Issues (side-by-side points of disagreement). Prepare Request for Supplemental

Information. Review Petitioner Rebuttal. Update List of Issues. Prepare and

Submit Brief. Review Supplemental Information. Perform Decision Analysis, Update Models, Generate Results (from Models), and Evaluate Results against points of contention. Peer Review Section. Prepare Brief for Board. Brief Board.

Review OP & GC Decision. Submit Weekly Status/Progress.

(Merger/Service Issue) Coordinate Schedule and Tasks with OP attorney. Retrieve

Merger Application from STB.gov or Case (if confidential). Review Merger

Application, Comments & Response. Make Insufficiency Determination. Discuss with Board, OP Attorney. Draft Response. Submit Response to OP Attorney.

Review and Provide Comments on OP Attorney Decision.

Transportation Industry Analyst (Rate Case) Review Operating Plan and Create Rail Traffic Controller Model.

Perform Decision Analysis, Update Models, Generate Results (from Models), and

Evaluate Results against points of contention. Peer Review Section. Prepare Brief for Board. Brief Board. Review OP & GC Decision. Submit Weekly

Status/Progress.

(Merger/Service Issue) Coordinate Schedule and Tasks with OP attorney. Retrieve

Merger Application from STB.gov or Case (if confidential). Review Merger

Application, Comments & Response. Make Insufficiency Determination. Discuss with Board, OP Attorney. Draft Response. Submit Response to OP Attorney.

Review and Provide Comments on OP Attorney Decision.

(Reporting) Prepare Draft Report, Update Report, Deliver Final Report

Chemical & Agriculture Transportation

Above applies to all branches. Each branch deals with specific sections depending on the type of, and issues with, rate case.

Branch Chief

Engineer

Org. Unit Role Case Management Responsibilities

Economist

Transportation Industry Analyst

Applied Economics & Special Studies

Branch Chief

Economist

Transportation Industry Analyst

Energy Transportation

Branch Chief

Engineer

Economist

Transportation Industry Analyst

Data Collection & Auditing

Branch Chief

Financial Analyst

Auditor

Economist

Transportation Industry Analyst

Org. Unit Role Case Management Responsibilities

Office of Environmental Analysis (OEA)

Director (Abandonment) Receive Combined Environmental & Historic Report (Pre-filling).

Receive Filing (through OP). Assign Case & associated tasks. Review & Approve

Accept/Reject Notice. Receive Supplemental Filing (through OP). Review and

Approve Draft EA. Submit Draft to OP (via Case Manager/Liason). Receive

Public/Industry Comments. Review and Approve Draft Final EA and Change

Summary Memo. Submit Draft Final EA and Change Summary Memo to OP (via

Case Manager/Liason). Review and Approve Adjudicated Comments from Board.

Submit Final EA to OP (via Case Manager/Liason).

(Construction) Receive Correspondence from Railroad (RR). Invite RR to Present

Project. Hire 3rd-Party Contractor (select from approved list; contract; fund;

draft, review, approve, transmit MOU). Determine if EA/EIS. Establish Team.

Review and Approve Waiver Request. Receive and Review Notice of Intent with

Team. Monitor EIS Scoping. Review and Approve Draft Scope. Receive

Comments and Distribute to Team. Review and Approve Final Scope. Monitor

Status of Draft EA/EIS. Receive and Distribute Comments on Draft EA/EIS to

Team. Monitor Status of Final EA/EIS. Review and Approve Final EA/EIS.

(Reporting) Assign Report Creation. Monitor Report Preparation. Review and

Approve Report. Submit Report to Board (via OP Case Manager/Liason).

Deputy Director (Abandonment) Receive Combined Environmental & Historic Report (Pre-filling).

Receive Filing (through OP). Assign Case & associated tasks. Review & Approve

Accept/Reject Notice. Receive Supplemental Filing (through OP). Review and

Approve Draft EA. Review and Approve Draft Final EA and Change Summary

Memo. Review and Approve Adjudicated Comments from Board.

Administrative Assistant Records Management Support

Attorney-Advisor (Abandonment) Receive Assignment. Review Case File. Prepare Accept/Reject

Notice. Contact RR for Supplemental Filing. Review Supplemental Filing.

Correspond with RR. Enter Correspondence into ECT. Conduct Analysis (verify claims in Pre-Filing) and Prepare Maps and Models. Draft Environment

Assessment (EA). Submit Draft for Review and Approval. Email Draft EA to

Servicer List & Clearance Unit. Obtain and Review Public/Industry Comments

(from STB.gov, email, phone, letter, document). Adjudicate Comments. Draft

Final EA & Change Summary Memo. Submit Draft Final EA and Summary Memo for Review and Approval. Distribute Draft Final EA and Summary Memo to

Servicer List and List of Additions. Adjudicate Board Comments on EA. Submit

Revised/Supplemental EA for Review and Approval. Close Case.

(Construction) Receive Correspondence from OEA Director. Attend RR Project

Presentation. Review Past Project Filings. Collaborate with 3rd-Party Contractor

(draft and adjudicate comments on MOU). Determine if EA/EIS. Review and

Process Waiver Request. Receive and Review Notice of Intent with Team. Scope

EIS. Prepare and Submit Draft Scope. Receive and Adjudicate Comments on EIS

Scope. Prepare and Submit Final EIS Scope. Update Status of Draft EA/EIS.

Receive and Adjudicate Comments on Draft EA/EIS to Team. Update Status of

Final EA/EIS. Prepare and Submit Final EA/EIS.

(Reporting) Prepare Report. Update Report Preparation Status. Submit Report to

OEA Director.

Org. Unit Role Case Management Responsibilities

Environmental Protection Specialist (Abandonment) Receive Assignment. Review Case File. Prepare Accept/Reject

Notice. Contact RR for Supplemental Filing. Review Supplemental Filing.

Correspond with RR. Enter Correspondence into ECT. Conduct Analysis (verify claims in Pre-Filing) and Prepare Maps and Models. Draft Environment

Assessment (EA). Submit Draft for Review and Approval. Email Draft EA to

Servicer List & Clearance Unit. Obtain and Review Public/Industry Comments

(from STB.gov, email, phone, letter, document). Adjudicate Comments. Draft

Final EA & Change Summary Memo. Submit Draft Final EA and Summary Memo for Review and Approval. Distribute Draft Final EA and Summary Memo to

Servicer List and List of Additions. Adjudicate Board Comments on EA. Submit

Revised/Supplemental EA for Review and Approval. Close Case.

(Construction) Receive Correspondence from OEA Director. Attend RR Project

Presentation. Review Past Project Filings. Collaborate with 3rd-Party Contractor

(draft and adjudicate comments on MOU). Determine if EA/EIS. Review and

Process Waiver Request. Receive and Review Notice of Intent with Team. Scope

EIS. Prepare and Submit Draft Scope. Receive and Adjudicate Comments on EIS

Scope. Prepare and Submit Final EIS Scope. Update Status of Draft EA/EIS.

Receive and Adjudicate Comments on Draft EA/EIS to Team. Update Status of

Final EA/EIS. Prepare and Submit Final EA/EIS.

(Reporting) Prepare Report. Update Report Preparation Status. Submit Report to

OEA Director.

Org. Unit Role Case Management Responsibilities

Director Case used as a research tool to check current status of pending cases and research closed cases.

Rail Customer & Public Assistance

Deputy Director Case used as a research tool to check current status of pending cases and research closed cases.

Attorney-Advisor Case used as a research tool to check current status of pending cases and research closed cases.

Transportation Industry Analyst Case used as a research tool to check current status of pending cases and research closed cases.

Congressional Affairs, Media & Records

Deputy Director

Press Officer Case used as a research tool to check current status of pending cases and research closed cases.

Records Chief Records Management

Office of the Managing Director (MD)

No direct Case activities. MD/Finance support FOIA Request response

(collection of fees). MD/CIO responsible for systems support (including Case

Management System)

Regulated Industries

Railroad Submit

Shipper

Pipeline Owner

The Public

Private Citizen Provide Comment, Question, FOIA Request. Receive FOIA Reply.

Advocacy / Special Interest Organization

Commercial Entity (Non-Regulated)

Congress Provides comments, questions

House of Representatives Oversight, Budget

Senate Oversight

Office of Public Affairs, Government Affairs & Compliance (OPAGAC)